SEC
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations (such as Regulation Best Interest), enforcement actions and related activities.
SEC Commissioner Wants Cyber Rules for Advisors, BDs
By Melanie WaddellElad Roisman, a Republican, wants the SEC to write a rule clarifying when advisors and broker-dealers are to inform investors and the commission about a cybersecurity breach.
October 27, 2021
Stock Trader Charged With Securities Fraud in Twitter Pump-and-Dump SchemeThe Ohio stock promoter used the social network for his over-the-counter penny stock scam, DOJ and SEC allege in separate actions.
October 27, 2021
Why the SEC Has Its Eyes on AdvisorsIt's smart to go beyond a written program and implement multi-factor authentication.
October 26, 2021
SEC Risk Alert Highlights Flawed Disclosures by ETFs, Mutual FundsFunds had inaccurate or omitted disclosures on matters like fees, investment strategies and fund performance.
October 25, 2021
Trendspotter: Advisor Movement From State to SEC Registration Is SurgingAs markets and the demand for fiduciary advice have grown, more firms have had to take this step, compliance pros say.
October 20, 2021
SEC Fines Disciplined Capital Management $25K Over Form CRS FailuresThe firm missed its regulatory deadlines to file the form and deliver it to clients.
October 19, 2021
Credit Suisse to Pay $475M in Bribery SchemeThe scheme involved transactions that raised funds to pay kickbacks to bankers and bribes to government officials in Mozambique.
October 19, 2021
SEC Would Get $74M Funding Boost Under Senate BillUnder the financial services bill, the IRS would get a more than $1.6 billion boost to go after wealthy tax cheats.